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Results: 1-10 of 13

CFTC seeks to bar admitted embezzler and his company from registration after he allegedly fails to disclose crimes on his registration application

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 5 2014

The Commodity Futures Trading Commission commenced an action to permanently disqualify Zero Chaos Advisors, LLC and Ronald Fisher from registration

CFTC sues trader for fraud and unauthorized swap trades

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 28 2014

Gregory Evans, a former employee of an unnamed futures commission merchant and provisionally registered swap dealer, was sued by the Commodity

Introducing broker sued by CFTC for failing to follow AML procedures

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 14 2014

The Commodity Futures Trading Commission filed and settled an administrative action against Zulutrade, Inc., a Greece-based registered introducing

CFTC sues lawyer in federal court for aiding and abetting clients’ legal violations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 14 2014

Jay Grossman, a Florida-based attorney, was sued by the Commodity Futures Trading Commission in a federal court in Florida for allegedly aiding and

NFA notifies members of FinCEN advisory

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 20 2013

The National Futures Association has notified member futures commission merchants (FCMs) and introducing brokers (IBs) that the Financial Crimes

NFA reminds members of BSA electronic filing requirements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 8 2012

On June 5, the National Futures Association issued a notice reminding members that, beginning July 1, all Bank Secrecy Act (BSA) reports must be filed electronically

Group pleading improper in CFTC enforcement action

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 12 2010

The Commodity Futures Trading Commission brought an enforcement action against several investment firms and affiliated individuals for the fraudulent operation of a foreign currency trading firm

CFTC and FinCEN agree to information sharing

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 23 2009

The Commodity Futures Trading Commission and the Financial Crimes Enforcement Network (FinCEN) have announced an agreement to exchange information in an effort to ensure that CFTC-regulated entities are in compliance with their anti-money laundering obligations under the Bank Secrecy Act (BSA

NYSE Arca proposes options rule amendments regarding anti-money laundering compliance programs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 21 2008

On October 28, NYSE Arca, Inc. filed proposed rule changes with the Securities and Exchange Commission to amend NYSE Arca Options Rule 11.19, which addresses anti-money laundering compliance programs (AMLCPs

FinCEN withdraws AML proposal

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 7 2008

The U.S. Treasury Department’s Financial Crimes Enforcement Network has withdrawn its proposed rules that would have required the adoption by investment advisers, commodity trading advisors and certain unregistered investment companies of anti-money laundering programs similar to those required of banks, broker-dealers, mutual funds and other industry participants